C-TPAT 3PL Compliance Assessment toolkit helps prepare for an audit. A Compliance Assessment Worksheet (Excel) & Requirement Statements (Word).

1. Highway Carriers: Minimum Security Requirements
Customs and Border Protection, U.S. Department of Homeland
Security
C-TPAT Minimum Security
Requirements
Highway Carriers
Released March, 2006
2 Customs and Border Protection, U.S. Department of Homeland Security
© Prepared by Prep4Audit, LLC www.prep4audit.com

2. Highway Carriers: Minimum Security Requirements
Highway Carriers: C-TPAT Minimum Security
Requirements
1.0.0 C-TPAT SECURITY CRITERIA OVERVIEW ....................................................................................... 5
1.1.0 PURPOSE OF MINIMAL HIGHWAY CARRIER SECURITY CRITERIA PROGRAM .................................................... 5
1.2.0 DEFINITIONS ..................................................................................................................................... 5
1.3.0 C-TPAT ACKNOWLEDGEMENTS ............................................................................................................ 5
1.4.0 BASIC REQUIREMENTS ........................................................................................................................ 6
2.0.0 BUSINESS PARTNER REQUIREMENTS ........................................................................................... 7
2.1.0 BUSINESS PARTNER REQUIREMENTS: GENERAL STATEMENT ....................................................................... 7
2.2.0 BUSINESS PARTNER SECURITY PROCEDURES ............................................................................................ 7
3.0.0 CONVEYANCE SECURITY .............................................................................................................. 9
3.1.0 CONVEYANCE SECURITY REQUIREMENTS: GENERAL STATEMENT ................................................................. 9
3.2.0 CONVEYANCE INSPECTION PROCEDURES ................................................................................................. 9
3.3.0 TRAILER SECURITY ............................................................................................................................ 10
3.4.0 CONTAINER SECURITY ....................................................................................................................... 11
3.5.0 CONVEYANCE TRACKING AND MONITORING PROCEDURES ....................................................................... 11
3.6.0 TRAILER SEALS ................................................................................................................................. 12
4.0.0 LESS-THAN TRUCK LOAD (LTL) ................................................................................................... 14
4.1.0 BASIC LTL SECURITY REQUIREMENT .................................................................................................... 14
4.2.0 SEALS ............................................................................................................................................ 14
4.3.0 WRITTEN PROCEDURES ..................................................................................................................... 14
5.0.0 PHYSICAL ACCESS CONTROLS .................................................................................................... 15
5.1.0 PHYSICAL ACCESS SECURITY REQUIREMENTS: GENERAL STATEMENT .......................................................... 15
5.2.0 EMPLOYEES .................................................................................................................................... 15
5.3.0 VISITORS/VENDORS/SERVICE PROVIDERS ............................................................................................. 15
5.4.0 CHALLENGING AND REMOVING UNAUTHORIZED PERSONS ....................................................................... 15
6.0.0 PERSONNEL SECURITY ............................................................................................................... 16
6.1.0 PERSONNEL SECURITY REQUIREMENTS: GENERAL STATEMENT .................................................................. 16
6.2.0 PRE-EMPLOYMENT VERIFICATION ....................................................................................................... 16
6.3.0 BACKGROUND CHECKS AND INVESTIGATIONS ......................................................................................... 16
6.4.0 PERSONNEL TERMINATION PROCEDURES .............................................................................................. 16
7.0.0 PROCEDURAL SECURITY............................................................................................................. 17
7.1.0 PROCEDURAL SECURITY REQUIREMENTS: GENERAL STATEMENT ................................................................ 17
7.2.0 PROCEDURAL SECURITY REQUIREMENT ................................................................................................ 17
7.3.0 DOCUMENTATION PROCESSING .......................................................................................................... 17
3 Customs and Border Protection, U.S. Department of Homeland Security
© Prepared by Prep4Audit, LLC www.prep4audit.com

3. Highway Carriers: Minimum Security Requirements
7.4.0 DOCUMENT REVIEW ......................................................................................................................... 17
7.5.0 BILL OF LADING AND MANIFESTING PROCEDURES ................................................................................... 18
7.6.0 CARGO DISCREPANCIES ..................................................................................................................... 18
8.0.0 PHYSICAL SECURITY ................................................................................................................... 19
8.1.0 PHYSICAL SECURITY REQUIREMENTS: GENERAL STATEMENT ..................................................................... 19
8.2.0 FENCING ........................................................................................................................................ 19
8.3.0 GATES AND GATE HOUSES ................................................................................................................. 19
8.4.0 PARKING ........................................................................................................................................ 19
8.5.0 BUILDING STRUCTURE ....................................................................................................................... 19
8.6.0 LOCKING DEVICES AND KEY CONTROLS ................................................................................................. 20
8.7.0 LIGHTING ....................................................................................................................................... 20
8.8.0 ALARM SYSTEMS AND VIDEO SURVEILLANCE CAMERAS ........................................................................... 20
9.0.0 SECURITY TRAINING AND THREAT AWARENESS ........................................................................ 21
9.1.0 THREAT AWARENESS ........................................................................................................................ 21
9.2.0 SECURITY TRAINING .......................................................................................................................... 21
9.3.0 EMPLOYEE INCENTIVES ...................................................................................................................... 21
10.0.0 INFORMATION TECHNOLOGY SECURITY ................................................................................ 22
10.1.0 PASSWORD PROTECTION .............................................................................................................. 22
10.2.0 ACCOUNTABILITY ........................................................................................................................ 22
10.3.0 FAST TRANSPONDER CONTROLS.................................................................................................... 22
10.4.0 FAST TRANSPONDER PROHIBITIONS ............................................................................................... 22
4 Customs and Border Protection, U.S. Department of Homeland Security
© Prepared by Prep4Audit, LLC www.prep4audit.com